| 21-00479 | 11/10/2021 | Claimant(s): Sarah J. Basler and Donald Basler, TTEE
Claimant Lawyers(s): David B. Vermont
Respondent(s): Gerald Mars, Hemant Kathuria, Peter Schiff, William Mcbean, A.G.P. / Alliance Global Partners, Euro Pacific Capital.
Respondent Lawyers(s): Kurt T. Kalberer
Arbitrator(s): Stuart K. Furman, Kenneth R. Starr, Harvey R. Linder
Hearing Site: Columbia, SC
|  | Expungement |
| 20-03253 | 04/20/2021 | Claimant(s): Mario Saravia Garcia
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Wallstreet*E Financial Services.
Respondent Lawyers(s): Carlos Francisco Otalvaro
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 20-03205 | 04/16/2021 | Claimant(s): Kevin Higginbotham
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
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| 19-03841 | 12/08/2020 | Claimant(s): Alex Muscati
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley, Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anthony Paduano, Christopher M. Sacco, Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 20-00915 | 10/20/2020 | Claimant(s): Gregory Achten
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David F. Barrett
Hearing Site: Cincinnati, OH
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| 19-01720 | 03/13/2020 | Claimant(s): Matt Ward
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): Robert H. Decker
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 18-03207 | 08/14/2019 | Claimant(s): Drew Freides
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Charles Evan Stewart
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 18-02456 | 04/16/2019 | Claimant(s): Matt Ward
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Euro Pacific Capital., Maxwell Capital.
Respondent Lawyers(s): Annette Calveri, Robert H. Decker
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 18-03619 | 04/05/2019 | Claimant(s): Gerald Maisner
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Wells Fargo Clearing Services, RBC Capital Markets LLC
Respondent Lawyers(s): Jeffery Rodgers, Tiana M. Towns
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
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| 18-01802 | 01/22/2019 | Claimant(s): Anthony Marcello
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): GunnAllen Financial, J.P. Turner & Company
Respondent Lawyers(s): Christina Vourakis, Deborah Anne Williams
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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